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Small Firm Briefing: Regulatory Operations Transformation and FINRA Forward Updates

Small firms represent a critical portion of FINRA’s membership and often face regulatory challenges that are unique from their large firm counterparts. In an effort to provide additional compliance education, FINRA offers the Small Firm Briefing (formerly known as the Small Firm Conference Call), a free webinar series hosted by senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.

2026 Crypto Asset Activity Information Request

Beginning in mid-June, FINRA is conducting an information request focused on member firms’ and affiliates’ current and anticipated crypto asset activities. This webinar will provide an overview of the information request, explain why FINRA is making the request, discuss the submission process for the five-question inquiry, and clarify the scope of activities FINRA is inquiring about—including crypto assets that are securities and those that are not.

SR-FINRA-2026-013

Rule Filing Status: Filed for Immediate Effectiveness

Proposed rule change to amend FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions) to except from the requirements of the rule accounts pursuant to Section 530A of the Internal Revenue Code.

Rosie Weeks

Rosie Weeks is Senior Vice President, Administration. In this role, Ms. Weeks is responsible for Corporate Real Estate and Security, Corporate Risk & Resilience, Information Operations—which encompasses entitlement, fingerprint and records management—and Meetings, Conference & Corporate Travel. She also serves as Treasurer for the FINRA Investor Education Foundation. 

Daniel Rambert

Mr. Rambert is Vice President, Treasury & Investments. In this role, he leads FINRA's Investment Office, overseeing the organization's various retirement plan assets, the FINRA Investor Education Foundation portfolio and corporate assets. Mr. Rambert provides comprehensive strategic direction and oversight across investment strategy, investment operations, risk management and treasury functions, ensuring disciplined capital stewardship and alignment with FINRA's long-term financial objectives. 

Lloyd Fenton

Lloyd Fenton is Vice President, Financial Planning & Analytics. In this role, he provides strategic financial guidance and support to FINRA’s senior leaders. Serving as a trusted advisor to key business unit stakeholders, Mr. Fenton helps business leaders optimize financial performance, identify risks and opportunities, and make financially sound decisions that align with FINRA's overall financial strategy.

2021070498107 WestPark Capital, Inc. CRD 39914 AWC ks.pdf

Between at least March 2019 and the present, WestPark violated FINRA Rules 3110 and 2010, and, between June 30, 2020, and the present, willfully violated Regulation Best Interest (Reg Bl), by failing to establish, maintain, and enforce a supervisory system, including written procedures, reasonably designed to achieve compliance with Reg Bi'sCare Obligation and FINRA Rule 2111. As a result, WestPark failed to reasonably supervise recommendations of GWG L Bonds to 10 retail customers that were not in the best interests of or suitable for the customers.
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